Individual Firm
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Juan M. Garcia
JUAN M GARCIA, JUAN MARTIN GARCIA, JUAN GARCIA
CRD#: 6098314
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 56 CHRISTOPHER COLUMBUS DR
JERSEY CITY, NJ 07302
JERSEY CITY, NJ 07302
View By:
6/2/2022
Customer Dispute
Denied
State Registrations
B
Arizona 4/13/2021
B
New Hampshire 8/27/2020
B
California 4/13/2021
B
New Jersey 5/5/2020
B
Colorado 8/27/2020
IA
New Jersey 5/5/2020
B
Connecticut 5/5/2020
B
New York 5/5/2020
B
Florida 10/1/2020
B
North Carolina 6/30/2021
B
Georgia 7/10/2024
B
Ohio 4/13/2021
B
Illinois 4/13/2021
B
Pennsylvania 10/28/2021
B
Indiana 6/11/2021
B
Puerto Rico 6/10/2022
B
Louisiana 9/28/2021
B
Texas 2/16/2021
B
Maine 3/28/2024
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Texas 2/24/2021
B
Maryland 10/23/2024
B
Virginia 2/24/2021
B
Nevada 8/22/2022
B
Washington 10/22/2021
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
B
B
B
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/5/2020
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Registered with this firm since 5/5/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/30/2017 - 04/27/2020 | NEWARK, NJ | |
B | 02/28/2014 - 04/27/2020 | NEWARK, NJ | |
B | 10/01/2012 - 12/17/2013 | NEW YORK, NY | |
B | 08/13/2012 - 10/01/2012 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.